JAMES HARWOOD III LUNDY
CIK 1331635 · EVP, Arizona Administration · last filed 2016-12-09
"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.
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Disclosed Exposure
$7.65M
Companies
2
Total Filings
32
Lifetime Open-Market Net
-$6.90M
Holdings By Company
Latest on-record share count from this person's most recent non-derivative Form 4 transaction in each company. Disclosed exposure = shares × current underlying price.
| Symbol | Role | Shares | Price | Disclosed Exposure | Lifetime OM Net | Filings | Latest Filed |
|---|---|---|---|---|---|---|---|
| WESTERN ALLIANCE BANCORPORATION (WALA) Delisted | EVP, Arizona Administration | 51,118 | $25.37 | $1.30M | -$1.84M | 3 | 2016-12-09 |
| WAL | EVP, Arizona Administration | 93,193 | $82.05 | $7.65M | -$5.06M | 29 | 2016-05-26 |
Recent Filings · Page 3 of 4
32 filingsInsider activity across all companies, newest first. Form 4 rows are post-trade confirmations (buys, sells, grants, exercises). Notice (144) rows are pre-trade notices of intent to sell restricted or control stock under Rule 144 — they may not all execute. Compare adjacent dates to see which notices became actual sales.
| Filed | Symbol | Action | Net Shares | Net $ | Link |
|---|---|---|---|---|---|
| 2013-01-29 | WAL | Tax (F) | −7,740 | -$95.7K | EDGAR |
| 2012-09-14 | WAL | Mixed | +14,383 | -$49.4K | EDGAR |
| 2012-01-27 | WAL | Tax (F) | −4,538 | -$37.2K | EDGAR |
| 2012-01-26 | WAL | Grant (A) | +10,000 | $0 | EDGAR |
| 2011-01-27 | WAL | Grant (A) | +20,000 | $0 | EDGAR |
| 2011-01-25 | WAL | Tax (F) | −927 | -$6.7K | EDGAR |
| 2010-08-27 | WAL | Sell (S) | −4,700 | -$29.6K | EDGAR |
| 2010-01-27 | WAL | Grant (A) | — | $0 | EDGAR |
| 2009-02-10 | WAL | Grant (A) | — | $0 | EDGAR |
| 2008-01-24 | WAL | Grant (A) | +2,600 | $0 | EDGAR |
Form 4 codes: P = open-market purchase · S = open-market sale · A = grant/award · M = option exercise · F = tax withholding at vest · G = bona-fide gift · D = disposition to issuer · J = other (see filing footnote). Only P / S codes carry directional signal.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.